0001127602-20-005668.txt : 20200214 0001127602-20-005668.hdr.sgml : 20200214 20200214163658 ACCESSION NUMBER: 0001127602-20-005668 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200213 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Botein Matthew CENTRAL INDEX KEY: 0001469142 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38727 FILM NUMBER: 20620996 MAIL ADDRESS: STREET 1: 141 FRONT STREET CITY: HAMILTON STATE: D0 ZIP: HM19 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PennyMac Financial Services, Inc. CENTRAL INDEX KEY: 0001745916 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 831098934 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3043 TOWNSGATE ROAD CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 BUSINESS PHONE: (818) 224-7442 MAIL ADDRESS: STREET 1: 3043 TOWNSGATE ROAD CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 FORMER COMPANY: FORMER CONFORMED NAME: New PennyMac Financial Services, Inc. DATE OF NAME CHANGE: 20180709 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2020-02-13 0001745916 PennyMac Financial Services, Inc. PFSI 0001469142 Botein Matthew C/O PENNYMAC FINANCIAL SERVICES, INC. 3043 TOWNSGATE ROAD WESTLAKE VILLAGE CA 91361 1 Common Stock 2020-02-13 4 S 0 15000 35.3469 D 414578 D These shares of Common Stock were sold pursuant to a 10b5-1 plan. The price reported is the weighted average price of multiple transactions ranging from $34.91 to $35.59. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. The reported amount consists of 8,891 restricted stock units and 405,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting. /s/ Kisha Parker, attorney-in-fact for Mr. Botein 2020-02-14